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Auditing Tecniques for Regulators

Language: English, French, Portuguese
Duration:
4 days
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Description

This course equips aviation authority auditors and inspectors with the essential knowledge and practical tools needed to successfully plan, initiate, conduct, and follow up on audits. Through a detailed exploration of international standards, regulatory frameworks, and best practices in oversight, participants will develop the skills to enhance compliance monitoring and performance-based auditing.

Using ICAO, EASA, ISO, and EU regulatory references, the course offers a balanced combination of theoretical foundations and hands-on exercises, enabling participants to design effective audit programs, prepare comprehensive audit checklists, evaluate findings, and compile professional audit reports. Whether for initial approvals or ongoing oversight, this training ensures regulatory personnel are ready to carry out their roles with competence and confidence.

Key Topics

Module 1: Introduction to Oversight and Compliance Monitoring

  • The concept of compliance monitoring in aviation

  • Why perform audits and regulatory oversight

  • ICAO framework: Doc 9734, Critical Elements 6 & 7

  • Overview of EASA, EU Commission regulations (e.g., 638/2013)

  • ISO and Quality Management principles

  • Compliance monitoring vs. quality assurance

  • Process-based management and the Deming cycle

Module 2: EASA and Organisational Oversight

  • EASA management system requirements

  • Key roles and responsibilities

  • Integration of compliance, safety, and performance oversight

  • Performance-based auditing and MSAT tool

Module 3: The Audit Lifecycle

Audit Preparation

  • Oversight program design

  • Risk-based auditing

  • Audit scope, objectives, criteria, and team composition

Audit Initialisation

  • Audit planning and communication

  • Development of audit schedule and checklist

  • Pre-audit activities and team briefings

Audit Execution

  • Conducting opening meetings

  • Interviewing techniques and note-taking

  • Gathering and evaluating objective evidence

Reporting

  • Writing and classifying findings

  • Audit reports and closing meetings

Follow-up

  • Corrective actions

  • Closure of findings and final team meetings

Objectives

Upon completion of the course, participants will be able to:

  • Understand core auditing principles and methodologies

  • Differentiate between audit types and apply appropriate methods

  • Design and implement oversight programs

  • Develop effective audit plans, schedules, and checklists

  • Conduct audits using professional techniques and tools

  • Collect and assess audit evidence

  • Write well-structured findings and reports

  • Conduct audit briefings and debriefings

  • Understand root cause analysis and corrective action processes

Targe Audience

  • Civil Aviation Authority (CAA) auditors, inspectors, and compliance officers

  • Regulatory personnel involved in planning or managing oversight activities

  • Professionals new to aviation auditing or oversight roles

  • Quality or compliance staff preparing for authority interaction

Certificate

Upon completion, participants receive
a certificate of achievement.

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